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Tschandl, Peßl, Sorko, Lenart

Roadmap Industry 4.0

Structured Implementation of Digitization or Smart Production and Services in Companies

White Paper

© Institute Industrial Management | FH JOANNEUM II

Martin Tschandl | Ernst Peßl | Sabrina Sorko | Katrin Lenart

Roadmap Industry 4.0 4.0

Structured Implementation of Digitization or Smart Production and Services in Companies

Whitepaper, Kapfenberg 2019

Version 1: October 2016

Version 2: October 2019

ISBN: 978-3-902103-93-2

Cover picture: FH JOANNEUM/Marija Kanizaj

Layout: Institute Industrial Management, FH JOANNEUM

© Institute Industrial Management | FH JOANNEUM III

Authors

FH-Prof. Mag. Dr.

Martin Tschandl

Head of Industrial Management

at FH JOANNEUM, Kapfenberg,

Chair of Business Administration

with Research Focus on Control-

ling, Strategy and Industry 4.0.

Dipl.-Ing. (FH)

Ernst Peßl

Senior Lecturer and Researcher,

Institute Industrial Manage-

ment, focus of work: Enterprise

Resource Planning (ERP), Pro-

duction Planning and Industry

4.0.

MMag. Dr.

Sabrina Romina Sorko

Senior Lecturer and Researcher,

Institute Industrial Manage-

ment, research focus: Personal

development in the context of

industry 4.0 and technical didac-

tics.

Katrin Lenart, BSc

Student assistant at the Institute

of Industrial Management with

focus on Roadmap Industry 4.0.

Contact FH JOANNEUM

Institute Industrial Management

Werk-VI-Straße 46

8605 Kapfenberg

www.fh-joanneum.at/iwi

www.industrial-management.at

FH-Prof. Mag. Dr. Martin Tschandl, [email protected]

DI (FH) Ernst Peßl, [email protected]

MMag. Dr. Sabrina Sorko, [email protected]

http://www.fh-joanneum.at/iwi

http://www.industrial-management.at/

mailto:[email protected]

mailto:[email protected]

© Institute Industrial Management | FH JOANNEUM IV

Preface

Industry 4.0 describes the digitization and interconnectedness of industrial value chains. The

semantic difference to Industry 3.0, digitization and automation by means of Programmable

Logic Controllers (PLC), which emerged in the 1970s and '80s, have led to a massive increase

in the use of new technologies and the opportunities opened up by them. The term "Industry

4.0", first used in 2011 by the German Chancellor Merkel, serves as a successful impulse to

strengthen the competi-

tiveness of domestic com-

panies. A question in this

context is, whether and to

which extent the terms

digitization and industry

4.0, sometimes also IoT (in-

ternet of things) can be

used synonymously or

overlapping. Digitization

generally means the inte-

gration of digital technologies into everyday (business) life. The Internet of Things (IoT) is part

of a process called digitization and is roughly subdivided into Consumer IoT and Industrial IoT

and serves as the "driver of the fourth industrial revolution". Industry 4.0 refers to the digital

interconnection of production and communication systems, using internet technology, to

cyber-physical systems (CPS). It also includes topics such as lean management and human /

culture (e.g. acceptance, change processes). The concept of digitization is therefore the um-

brella term, which includes (almost) all areas. The benefits of digitization vary from industry

to industry and from company to company. Every business needs its own path towards digital

transformation which suits its individual starting position, opportunities and needs. What re-

mains is the management's expectation to save costs through digitization, to serve customers

more flexibly and thereby implement new, digitized business models if necessary, as well as

to increase revenues and results. For companies to be able to exploit the potential, a struc-

tured implementation plan was developed at the Institute of Industrial Management at FH

JOANNEUM in cooperation with an international industrial company. This Roadmap Industry

4.0 makes it possible to recognize and implement individual company potentials. A special

feature of this model is the holistic and practical approach. The original version 1 from 2016

was adapted to the present version 2 (Whitepaper 2019) based on the application experiences

of numerous (industrial) companies and the considerations of new findings in the literature.

The authors are looking forward to engaging in fruitful discussions.

Martin Tschandl, Kapfenberg, January 2019

Figure 1: Definition of terms in digitization

© Institute Industrial Management | FH JOANNEUM V

Table of Contents

1. Introduction ............................................................................................................... 1

2. In the beginning there is (digital) strategy .................................................................. 3

3. What is Industry 4.0? ................................................................................................. 8

4. Which process models are already available? ........................................................... 13

5. How do companies approach Industry 4.0 in a structured way? ................................ 19

6. Conclusions and recommendations .......................................................................... 33

7. Bibliography ............................................................................................................ 35

8. Smart Production Lab Kapfenberg ............................................................................ 42

© Institute Industrial Management | FH JOANNEUM VI

Table of figures

Figure 1: Definition of terms in digitization .............................................................................. IV

Figure 2: Model of industry 4.0 fields of action in practice ....................................................... 3

Figure 3: Process model of strategic management and controlling .......................................... 6

Figure 4: Roadmap Industry 4.0 – Institute Industrial Management ....................................... 19

Figure 5: Step 1: Performing starting-workshops .................................................................... 21

Figure 6: Step 2: Analyse Industry 4.0 maturity ....................................................................... 23

Figure 7: Exemplary maturity level determination in the field of action Production .............. 25

Figure 8: Step 3: Defining the target state ............................................................................... 26

Figure 9: Exemplary target states in the field of action Production ........................................ 26

Figure 10: Exemplary comparison of current and target profile in the field of action

Production ................................................................................................................................ 27

Figure 11: Step 4: Generate and evaluate measures ............................................................... 28

Figure 12: Exemplary evaluation of the measures ................................................................... 29

Figure 13: Step 5: Prepare decisions ........................................................................................ 30

Figure 14: : Step 6: Initiate projects ......................................................................................... 31

Table 1: Definitions of Industry 4.0 .......................................................................................... 10

Table 2: Key terms in the context of industry 4.0 .................................................................... 12

Table 3: Short overview of selected industry 4.0 maturity level and process models ............ 18

Roadmap Industrie 4.0 - Introduction

© Institute Industrial Management | FH JOANNEUM 1

1. Introduction

All types of companies – including manufacturing companies – are facing a major upheaval

due to the current influence of digitization. Following the current hype about industry 4.0, the

impression quickly becomes apparent that the industrial production of the future is taking on

features of science fiction. Within the intelligent factory of the future, cyber physical systems

(CPS), radio frequency identification (RFID), embedded systems (ES), sensors, actuators, mo-

bile devices und production facilities – are all connected via the internet of things (IoT) and

continuously exchange data inside and outside the factory halls. This level interconnectedness

enables independent logistic systems, cooperating robots and self-controlling manufacturing

processes to work in unison with one another.1 The factory of the future is a kind of commu-

nication and data factory that, in conjunction with big data, statistics/data science, mobile

computing and cloud solutions enables the so-called fourth industrial revolution.

The widespread introduction of information and communication technology (ICT) and its in-

terconnectedness via the Internet of Things and the resulting real-time capabilities of produc-

tion processes are propagated under the bold, ubiquitous term Industry 4.0. Autonomous ob-

jects (work pieces, storage and conveyor systems, robots, machines and equipment), mobile

communication systems and real-time sensors allow new ways of thinking within a decentral-

ized production control system.2

Industry 4.0 describes a vision of the future that shows what industrial manufacturing may

well look like in the future. Many industrial companies have already completed a part of this

journey, albeit often unconsciously, by already using individual elements of industry 4.0 con-

cepts in their operations. Nevertheless, a large proportion of medium-sized manufacturing

companies cannot yet associate much witch the term industry 4.0. This can, for example, be

seen in a 2015 study among 900 decision-makers in Germany, Austria and Switzerland, where

more than half of the respondents stated that they were not (yet) in a position to make the

structural and technical changes towards industry 4.0 or interconnected production pro-

cesses.3 Similar to that, a study at Austrian medium-sized companies in 2018: Although nearly

70% of the companies see digitalisation as an opportunity for the future, more than 50% of

the respondents also state that digital technologies do not yet play a role in their companies.4

1 Cf. Geberich 2017, p. 374.

2 Cf. Bauernhansl 2014, p. 5-35; Roth 2016, p. 3-10; Siepmann 2016, p. 19-32 and 47-70; Spath et al. 2013; Vogel-Heuser 2014, p. 37-48; Kagermann et al. 2013.

3 Cf. CSC-Computer Services Consulting 2015, p. 6-12.

4 Cf. Ernst & Young 2018, p. 6 and 11f.

Roadmap Industrie 4.0 - Introduction


Such uncertainty has its impacts, since the attention of management and the commitment of

staff involved in the change process are the basis for the successful implementation change.5

With industry 4.0, in addition to the (partly lacking) awareness, the necessary strategic under-

standing of ICT is of great importance. It will become crucial to merge the manufacturing and

ICT industries and to sensitize employees for digitization issues in order to professionally deal

with security aspects.

The fourth industrial revolution thus presents companies with challenges in many respects.

One of the largest is the systematic introduction of Industry 4.0 into a company. This raises

several questions: What is the current status of digitalisation in the company? How digital

does the company want to be by when? Which measures must be taken when in order to

achieve the goal on time? Answering these questions leads to the methodology of maturity

and process models for the implementation of Industry 4.0.

In order to guarantee a system for the introduction of Industry 4.0 in manufacturing plants,

the Institute of Industrial Management at FH JOANNEUM developed a roadmap for the intro-

duction of Industry 4.0 in the course of an applied research project with an internationally

renowned industrial company in 2015. In 2016, the model was first described in a white paper

and has been published several times since.

5 Cf. Acatech 2016, p.29.

Roadmap Industrie 4.0 - In the beginning there is (digital) strategy


2. In the beginning there is (digital) strategy

The degree to which strategic planning is implemented into business practice depends on nu-

merous factors, such as company size, sector and ownership structure. In addition to the plan-

ning methodology and the involvement of relevant stakeholders, strategic transformation, i.e.

the translation into measures and their (controlling-driven) implementation, is essential for a

successful strategic work.

Small and medium-sized enterprises - especially those that are still managed by their owners

- are facing a difficult situation due to the challenges of the fourth industrial revolution and

digitalisation: Who will lead them into the new technologies? Who is responsible for the right

(strategic) goals? Who is planning the digital transformation in the corporate cascade?

Good advice, which larger companies often get and can more easily afford due to their over-

head cost leverage, is (too) expensive for SMEs. As a result, according to a study of 516 com-

panies, digitization is the responsibility of management in 78% of SMEs, followed by manage-

ment assistance with 31% (multiple answers were possible) and IT management with only 19%

of the companies.6 It is therefore not surprising that only comparatively few companies al-

ready have an explicit industry 4.0 strategy or are systematically building up industry 4.0 ca-

pabilities. 7

# The fields of activity for the transformation to industry 4.0

Within six fields of activity, companies can implement industry 4.0 measures in order to

achieve the described benefits (efficiency, flexibility, new business models) of industry 4.0 (see

Figure 2):8

Figure 2: Model of industry 4.0 fields of action in practice

6 Cf. Kogleck 2018, p. 96.

7 Cf. ICV Ideenwerkstatt 2015, p. 34. Only around 11% of the 207 study participants surveyed stated that their company had already developed an I4.0 strategy; 45% have not yet dealt with I4.0.

8 Cf. Tschandl/Mallaschitz 2016, p. 89.



1. Increase the level of automation in production, (internal) logistics, planning and con-

trol of service provision,

2. Increase the degree of integration of customers and business partners into the value

chain (supply chain management),

3. further downsize processes (Lean Production/Management),

4. Increase the level of digitization across the enterprise, especially by means of automa-

tion and customer/business partner integration (including the I4.0 technology fields

Embedded Systems and Cyber-Physical Systems, Smart Factory, robust networks,

cloud computing and IT security),

5. develop new business models and

6. manage the increasing demands on employees with regard to training and further ed-

ucation as well as willingness to change.

In business practice, these six fields of activity are pursued to different degrees, which is why

each company has its individual degree of digitization and therefore needs its own industry

4.0 roadmap, depending on its individual possibilities (resources) and necessities (market re-

quirements).

# Standardization strategies for digitization

If the "how much" of more automation, supply chain management, lean production/manage-

ment, digitization, etc. cannot be explicitly defined, basic standard strategies as recommen-

dations for action support those companies that have not yet defined their (strategic) industry

4.0 goals:9

Standard strategy 1: Introduce lean processes (lean management as a prerequisite for

standard strategy 2/digitization and generally for I4.0),

Standard strategy 2: Invest in the digitization of all business areas (IT as a prerequisite

for I4.0 and especially for new business models),

Standard strategy 3: Increase the associated know-how at all employee levels in order

to maximise the impact of lean management and digitization from the outset (trained

and convinced employees as enablers for I4.0).

Standard strategy 4: Develop new, digitization-oriented business models.

9 Cf. Tschandl/Mallaschitz 2016, p. 90f.



These basic standard strategies - systematically pursued over many years - increase a compa-

ny's industry 4.0 maturity level and should lead to acceptance and new ideas for meaningful

automation/technology innovations and supply chain optimizations.



# The strategy process: classic and I4.0-compliant

The development of Industry 4.0 strategies must go through the same strategic process as all

other strategy-relevant topics in a company:

First, analyze the strategic starting position, the environment and the company;

secondly, evaluate the results and summarise them in a decision-oriented way;

thirdly, define or decide on strategic goals and strategies for achieving them;

fourthly, transform and implement these strategies and close the strategic controlling cycle

with control and steering.

Figure 3: Process model of strategic management and controlling10

The following procedure is based on this theoretically founded process and at the same time

takes the classic practical requirements of companies (simple, fast, effective, ...) into ac-

count:11

1. Industry 4.0 Start Workshop:

...before: Analysis of industry 4.0 activities within the sector

10 Cf Tschandl/Bischof/Baumann 2014, p. 68.

11 Cf. Tschandl/Mallaschitz 2016, p. 92f.



...during: Presentation and discussion of the importance of industry 4.0 within the

sector and for the company itself

...then: Minutes for decision on industry 4.0 objective and action by management

2. If "Go decision": form interdisciplinary industry 4.0 project team for future tasks

3. Analyse the industry 4.0 maturity level with project team:

Definition of the relevant industry 4.0 criteria (by project team)

Evaluation of the actual situation/degree of maturity (by project team)

Determine the target situation (by decision-makers)

4. Ensure concrete industry 4.0 objectives and strategy by decision-makers

5. Support strategic transformation with...

...workshops and protocols

...Balanced Scorecards

...(Multi-year/annual) budgets

6. Methodically accompanying industry 4.0 strategy implementation with roadmap

Roadmap Industrie 4.0 - What is Industry 4.0?


3. What is Industry 4.0?

The term Industry 4.0 embodies the fourth industrial revolution. In order to explain the termi-

nology, an understanding of the previous developments in the manufacturing industry is in-

dispensable within the three preceding development stages, which build on each other. The

first industrial revolution, driven by the development of the steam engine, began in 1750. The

possibility of using machines to perform work was the foundation for industrialisation and

companies developed from craft businesses to industrial enterprises. The second industrial

revolution started around 1870 and was characterised by electrically powered machinery and

the assembly line principle (mass production based on the division of labour). Manufacturing

plants became more efficient and mass production became possible. The third industrial rev-

olution began in the 1960s with the increased use of IT and electronics in production. Auto-

mation facilitated both and more varied series production.12

Volatile markets, new international market participants, demographic developments, changes

in global logistics flows, customer-specific products and increasingly complex processes are

examples of developments that force companies to react in order to maintain their competi-

tiveness as manufacturing companies in Europe. After the arrival of mechanised processes,

electrical power, electronics and information technology in companies, "Industry 4.0" as the

fourth industrial revolution describes the use of digitization beyond company boundaries, to

interconnect so-called cyber-physical systems via the Internet of Things.

# The term industry 4.0 in a literature comparison

For the term industry 4.0, no uniform definition has yet been established in the literature. The

following table shows some attempts at creating correct definitions.

Author Definition of industry 4.0

Tschandl,

Peßl,

Baumann

2017, p. 20,

23.

"Industry 4.0 is a marketing and communication label that has been describing and

driving forward the ongoing automation and digitization in production companies in

politics and business since 2011. In summary, it is designed to help companies in-

crease productivity, respond more closely to individual customer needs, develop new

business areas and become more attractive to employees."

Roth 2016,

p. 6.

"Industry 4.0 comprises the networking of all human and machine actors along the

entire value chain as well as the digitalisation and real-time evaluation of all relevant

information with the aim of making value creation processes more transparent and

efficient in order to optimise customer benefits with intelligent products and services.

12 Cf. Bauernhansl 2017, p. 1-2; Kreutzer/Land 2016, p. 2-3; Siepmann 2016, p. 19-20.




Obermaier

2016,

p. 8.

"Industry 4.0" describes a form of industrial value creation characterised by digitiza-

tion, automation and networking of all actors involved in value creation and affecting

processes, products or business models of industrial enterprises.

Plattform

Industrie 4.013

"Industry 4.0 is defined as digitization and interconnection of entire value chains and

follows mechanization, electrification and automation as the fourth industrial revolu-

tion. Change takes place at all stages of the production process (value chain). Indus-

try 4.0 includes upstream and downstream players such as suppliers or logistics

companies as well as internal processes such as procurement, production, sales or

maintenance. Industry 4.0 leads to higher productivity and flexibility, more innovation

and lower resource consumption."

Bauer et al.

2014,

p. 8.

"Industry 4.0 focuses on the real-time, intelligent, horizontal and vertical intercon-

necting of people, machines, objects and ICT systems for the dynamic management

of complex systems.

Bauernhansl

et al. 2014, p.

1.

"The term industry 4.0 stands for the fourth industrial revolution, a new stage in the

organization and control of the entire value chain over the life cycle of products. This

cycle is oriented towards increasingly individualised customer wishes and extends

from the idea, the order, through development to recycling, including the associated

services. The basis is the availability of all relevant information in real time by net-

working all instances involved in the value creation process and the ability to derive

the optimal value creation flow at any time from the data. The connection of people,

objects and systems creates dynamic, real-time optimized and self-organizing,

cross-company value creation networks that can be optimized according to different

criteria such as costs, availability and resource consumption".

Kagermann et

al. 2013,

p.18 and 23.

"Industry 4.0 essentially means the technical integration of CPS into production and

logistics and the use of the Internet of Things and Services within industrial pro-

cesses, including the resulting consequences for value creation, business models,

downstream services and work organisation.”

"In production, the increasing intelligence of products and systems, their vertical in-

terconnection, combined with integrated engineering, and horizontal interconnection

via value-added networks are now leading to the fourth stage of industrialization -

"Industry 4.0". Industry 4.0 focuses on the production of intelligent products, pro-

cesses and procedures (Smart Production). An important element of Industry 4.0 is

the Smart Factory."

Spath et al.

2013.

p. 2 and 22.

"Industry 4.0" means the beginning of the fourth industrial revolution after mechani-

zation, industrialization and automation. Central elements are interconnected Cyber-

Physical Systems (CPS)."

"Under the striking name "Industry 4.0", the widespread introduction of information

and communication technology and its interconnection to an Internet of things, ser-

vices and data, which enables real-time production capability, is propagated”.

13 Plattform Industrie 4.0, Abrufdatum: 17.04.2018.




"Under the buzzword "Industry 4.0", developments towards a production environ-

ment consisting of intelligent, self-controlling objects are currently being discussed.

Examples of CPS are equipment, containers, products and materials."

Table 1: Definitions of Industry 4.0

The table shows one of the guiding principles of Industry 4.0: how to optimize the use of digital

networks in production. This change is characterized by the convergence of modern infor-

mation and communication technologies with classical production processes. In particular,

production management with all its processes is a major challenge for IT systems.

Based on the definitions presented in the table, the understanding of Industry 4.0 is as follows

for this white paper:

Industry 4.0 describes the comprehensive introduction of information and communication

technology (ICT) and its interconnection to the Internet of Things, Services and Data with

the aim of real-time control of production and value creation networks. Autonomous ob-

jects (work pieces, storage and conveyor systems, robots as well as machines and equip-

ment), mobile communication, real-time sensors/actuators and ICT enable a paradigm shift

from once centralized control systems to decentralized, flexible coordination of self-control-

ling processes. Accordingly, it will be possible to react quickly, de-centrally and flexibly to

customer requirements and to economically produce in great variety with simultaneously

low batch sizes, as well as to successfully introduce new, customer-oriented business mod-

els. This leads to a further increase in competitiveness. Each company must find or define

its own combination and its own roadmap to Industry 4.0.

# The core elements of industry 4.0

It is important to understand that the isolated use of current technologies such as RFID, cloud

computing, augmented reality, embedded systems and big data is not the same as the imple-

mentation of Industry 4.0.14 Actual implementation can only take place via the use of cyber-

physical systems in the context of overall integration.

The following table summarises relevant technologies, key terms and approaches that are rel-

evant in the context of industry 4.0 and can be helpful for further understanding.

14 See the explanation of industry 4.0 terms in Table 2.



Key terms in the context of industry 4.0 Author

Augmented Reality (AR):

... is a combination of the reality that is perceived and a reality that is

generated by the computer. AR offers the user in addition to his real

perceptions further information that is directly related to the percep-

tions. Example: Display of additional virtual information via the cam-

era of a mobile device (data glasses, smartphone)

Roth 2016. p. 261.

Mayer/Pantförder 2014,

p. 486-487.

Craig 2013, p. 1-2.

Big Data:

…is an information object that is characterized by high volume, di-

versity, and speed, which requires specific analytical methods and

technologies to be transformed into value.

De Mauro et al. 2016, p.

131.

Curry 2016, p. 31.

Cloud computing:

... refers to hardware functions, software or digital applications made

available as services via the Internet. Applications are stored in a

virtual "cloud" operated by the provider – the cloud is comparable to

a data centre.

Fallenbeck/Eckert 2014, p.

397-431.

Ortner/Gerhardter 2012,

p. 37-42.

Mell/Grance 2011, p. 3.

Cyber-Physical Production Systems (CPPS):

… are cyber-physical systems used in the manufacturing industry,

which enable a continuous contemplation of products, means of pro-

duction and production systems under consideration of changing

processes. CPPS promote new production processes to reduce

time-to-market and optimize quality and costs.

Wiesner/Thoben 2017,

p.63.

Siepmann 2016, p. 29.

Vogel-Heuser 2014, p. 39-

40.

Kagermann et al. 2013, p.

84.

Cyber-Physical Systems (CPS):

... define a fusion of physical and digital systems using actuators to

directly influence and sensors to monitor and capture the physical

environment. Objects, buildings, equipment and production facilities

contain logistics components and are equipped with embedded sys-

tems that enable them to communicate via the Internet. CPS com-

bine different engineering approaches from the fields of mechanics,

electronics, IT, control engineering, thermodynamics and materials

engineering.

Paetzold 2017, p. 28.

Bondavalli 2016, p. VII.

Bauernhansl 2014, p. 15.

Geisberger/Broy 2013, p.

244.

Kagermann et al. 2013, p.

84.

Spath et al. 2013,

VDI 2013, p. 3.

Embedded Systems:

... are software and hardware components integrated into a compre-

hensive, technical system, which serve the realization of system-

specific functional characteristics.

Bauernhansl et al. 2014,

p. 15-16.

Kagermann et al. 2013,

S.85.



Key terms in the context of industry 4.0 Author

RFID (Radio Frequency Identification):

... describes the identification of various objects using readers and

electromagnetic waves emitted by RFID tags attached to the object.

The identification of any objects within logistic process chains as

well as the linking of objects and information and thus the optimiza-

tion of processes are the goals of the use of RFID systems.

Siepmann 2016, p. 51-53.

Krieger 2014,

Abrufdatum: 19.12.2018.

Geisberger/Broy 2013, p.

254.

Industrial Internet of Things (IIoT)

... describes the integration of IoT technologies within the industrial

value chain. The aim is to enable fully digitalised, self-controlling and

decentralised industrial value chains.

Müller/Voigt 2018, p. 659.

Lee/Zhang 2017, p. 335.

Internet of Things and Services (IoTS):

... describes things that are equipped with IP addresses and are

able to exchange information with other objects and IT systems via

sensors and microchips and to withdraw and use provided services.

IoTS describes the "extension of the ubiquitous Internet" to various

everyday objects, called Smart Products, that are becoming an inte-

gral part of the Internet.

Bauernhansl 2016, p. 16-

17.

Siepmann 2016, p. 26-27.

Schlick et al. 2014, p. 57-

84.

Kagermann et al. 2013.

Ashton 2009.

Smart Factory:

Individual companies or groups of companies that use ICT (Infor-

mation and Communication Technologies) for product development,

production, logistics and interface coordination with customers in or-

der to be able to respond more flexibly to incoming inquiries. A

Smart Factory is able to master complexity, is more fail-safe and en-

ables a more efficient production. Communication between people,

machines and resources is a matter of course and comparable to a

social network.

Roth 2016. p. 265.

Bauernhansl 2014.

Kagermann et al. 2013.

Heng 2014, p. 4-5.

Table 2: Key terms in the context of industry 4.0

Roadmap Industrie 4.0 - Which process models are already available?


4. Which process models are already available?

# Differentiation between maturity level and procedure models

Maturity level models serve to determine the location and objectives and consist of different

criteria which can be combined into dimensions (e.g. products or departments). Each criterion

is described by several states of expression (degrees of maturity or stages of maturity). Well-

known maturity models from other departments are the European Foundation for Quality

Management (EFQM) model15, the Process and Enterprise Maturity Model (PEEM)16 or the

Capability Maturity (CMMI) model17.

Procedure models, on the other hand, support companies with the implementation of larger

projects by modelling the procedural steps to achieve a goal - the overall task is divided into

individual, small process steps such as the as-is analysis, determining the target profile and

deriving measures. Within the procedure model, each step of the implementation is de-

scribed. This significantly reduces the complexity of the project and supports project planning

and controlling. In18 addition, process models also provide a framework for the use of different

methods and tools in the individual phases of the implementation process.19

For the implementation of Industry 4.0 in companies, maturity level or process models are

increasingly used.20 Maturity models can be used as single instruments as well as embedded

within a process model for the implementation of industry 4.0. The21 methodical design is of

great importance for the successful application of maturity level models in business practice.:

In our approach, a five-step scale is used to determine the industry 4.0 maturity level of the

company, where level 1 is defined as the basis and level 5 as the maximum level a company

could possibly reach. Each of the stages of maturity contains criteria which must be met in

order for the stage to be defined as achieved. Companies can determine their degree of ma-

turity through self-assessment by setting the actual level of development for each criterion.

The higher the states of expression of the individual criteria, the higher the degree of maturity

of the whole company.22 In addition, maturity models can also be used to determine the target

state by defining the desired maturity level for each criterion. By comparing the actual and

target profiles (gap analysis), gaps can be identified and measures to close these gaps can be

derived.

15 Cf. EFQM, call date: 08.02.2016.

16 Cf. Hammer 2007.

17 Cf. CMMI, call date: 08.02.2016.

18 Cf. Leimeister 2012, p. 113.

19 Cf. Leimeister 2012, p. 102, 113.

20 Cf. Lichtblau et al. 2015; VDMA Forum Industrie 4.0 2015; Bechtold et al. 2014; Feld et al. 2012.

21 Cf. Bechtold et al. 2014.

22 Cf. Allweyer/Knuppertz 2009, p. 4ff.



# Excerpt from maturity level and procedure models for the introduction of industry 4.0

The following table shows an excerpt of existing industry 4.0 maturity level and procedure

models for self-assessment and introduction of industry 4.0 in companies:

Author Description of the

BCG23 The Digital Acceleration Index (DAI) helps executives to identify opportunities of digital

transformation for businesses. It starts with a survey of existing digital strengths and

weaknesses, followed by a benchmarking of the results to best-in-class companies,

industry averages or direct partners. Based on this, goals are defined and a roadmap

is designed.

The DAI evaluates 4 dimensions (Business strategy driven by digital, Digitalizing the

core, new digital growth, Enablers) along four maturity levels (Digital Passive, Digital

Literate, Digital Performer, Digital Leader).

Becker24 The Industry 4.0 Maturity Test evaluates the digital maturity of companies along seven

levels of maturity (manual, digitization, networking, structuring, automation, predictabil-

ity, autonomization).

Deutsche

Telekom

AG25

The digitization index considers three fields of action (sales & service, productivity, co-

operation). The Deutsche Telekom AG offers the option of an online self-check includ-

ing a sector comparison of the results.

DIGI-

TALFEX26

The online tool of Digitalfex serves the digital positioning of the company. It is divided

into general questions and questions about technology, culture, organization, custom-

ers, business model and environment.

easy feed-

back27

The Quick Check Industry 4.0 maturity assessment consists of a total 15 questions to

gain a first impression of the company's industry 4.0 maturity level.

eStep28 This Self-Assessment Tool is designed for SMEs and determines the e-business ma-

turity level of a company along four dimensions (organisation, cooperation, data man-

agement, company). The maturity levels measured are divided into five stages (recog-

nized, selective, defined, structured, established).

H&D29 Industry 4.0 Readiness starts with conducting a status quo analysis for five status ele-

ments (customer needs, processes, technologies, people & business alignment).

Within the scope of the company analysis, optimization potentials are derived and rec-

ommendations for the further development of the company are given. In this model,

the main focus is on the IT components.

23 Cf. Boston Consulting Group, call date: 27.04.2018.

24 Cf. Bechtold 2014, p. 32-33.

25 Cf. Deutsche Telekom AG call date: 04.05.2018.

26 Cf. Digitalfex, call date: 01.06.2018.

27 Cf. Easysfeedback, call date: 01.06.2018.

28 Cf. eStep, call date: 14.06.2018.

29 Cf. H&D, call date: 04.05.2018.




Hilker

Consult-

ing30

The maturity model comprises four main areas (Business Model/Innovation, Strat-

egy/Digital Business Transformation, Work 4.0 and Change Management), with each

main area divided into three categories. The assessment of maturity takes place in four

levels (starter, beginner, advanced, expert).

University

of

Neu-Ulm31

The digital maturity level assessment is an online analysis tool that helps to gain a first

impression of the status of industry 4.0 in a company. It consists of ten core questions

in five fields of action (digitization strategy, partner and supplier network, business pro-

cesses, products and services, customer interface). Each question is answered with a

maturity level of 1-5 for the current status and the desired status in three years.

IHK32 The IHK Industrie 4.0 self-test determines the digital maturity in four relevant subject

areas (Smart Prdouction, Smart Manufactoring, Smart Organization, Smart Technol-

ogy). After answering the questions, the own degree of maturity is established in com-

parison to the average.

Mittelstand

4.033

The Self-Check Online Tool allows a choice between three sectors (industry, crafts,

services). Questions in the industry sector are asked about strategy, technology, prod-

ucts & services, organization and processes, employees and general questions. Once

all the questions have been answered in full, a degree of maturity (explorer, beginner,

advanced, expert and pioneer) is determined and development potential for the com-

pany is identified. Benchmarks are also displayed for comparison

spot

consulting34

The Digital Readiness Self-Check is an online self-check in five dimensions: Strategy,

organization, products and services, customer interaction and technology and infra-

structure.

Acatech

(2017)35

The acatech Industry 4.0 Maturity Index offers companies support in planning individual

industry 4.0 development paths and gradually prepares the transformation to an agile

company. It consists of three phases: Determination of maturity level, target determi-

nation, measures. The degree of maturity is determined along six levels and four de-

sign fields (resources, information systems, culture, organisation). In phase 2, the tar-

get states are defined and a gap analysis is conducted, which serves as a basis for

deriving measures and summarizing them in a roadmap in the final phase.

Agca et al.

(2017)36

The Industry 4.0 readiness assessment tool is a digital maturity tool divided into six

dimensions: Products and services, manufacturing and operations, strategy and organ-

ization, supply chain, business model, legal consideration. Each of the dimensions is

broken down into further sub-dimensions and evaluated at the level of the sub-dimen-

sions along four maturity levels (Beginner, Intermediate, Experienced, Expert).

30 Cf. Hilker Consulting, call date: 13.06.2018.

31 Cf. University of Applied Sciences Neu Ulm, call date: 04.05.2018.

32 Cf. IHK, call date: 04.05.2018.

33 Cf. Mittelstand 4.0-Kompetenzzentrum Kaiserlautern, call date: 01.06.2018.

34 Cf. Spot Consulting, call date: 01.06.2018.

35 Cf. Schuh et al. 2017.

36 Cf. Agca et al. 2017, p. 3-5.




Strategy

Transfor-

mation

(2017)37

The process model comprises three phases for successful transformation:

Phase 1: Digital assessment (digital maturity assessment, market-related analysis,

company-related analyses from a business and IT perspective).

Phase 2: Digitization strategy (definition, derive measures, define roadmap).

Phase 3: Business transformation (change management, project management, im-

mediate measures and quick wins, digital controlling etc.)

The Digital Maturity Assessment carried out in Phase 1 comprises three categories

(market analysis, business analysis, business analysis IT), 16 topic blocks and more

than 200 questions.

AK4.0

(2016)38

The Roadmap Industry 4.0 is a four-step process (stocktaking, identifying potentials,

selecting and evaluating potentials and creating a roadmap). The areas of service pro-

vision (smart production) and range of services (smart products and services) are ex-

amined closely. In phase one, the actual situation of the prevailing business model is

recorded using various tools and methods (SWOT, PESTEL). Based on the collected

data, two I4.0 potentials are collected in phase two. Therefor a I4.0 layer model is

used. The third phase deals with the evaluation and selection of previously identified

potentials. The Enabler 4.0 four-level maturity model is used to support the identifica-

tion of the necessary prerequisites in the areas of people, technology and organization.

In the final project phase, a company-specific industry 4.0 roadmap will be developed.

Erol et al.

(2016)39

The Industry 4.0 process model is based on a three-stage approach. This consists of

Envision (definition of an individual industry 4.0 vision), Enable (definition of success

factors) and Enact (preparation for implementation and planning of pilot projects).

Huber

(2016)40

The maturity and migration model focuses on the core processes of production plan-

ning and the customer order process. The maturity level is analysed for each core pro-

cess and each relevant technology separately. The maturity level is determined along

five stages.

Jodelbauer,

Schagerl

(2016)41

The maturity model Industry 4.0 supports companies in understanding and applying

Industry 4.0 in a goal-oriented way. It is based on three dimensions (digital transfor-

mation, intelligence, data) divided into criteria and sub-criteria. The maturity model

comprises 24 sub-criteria, each of which is evaluated on a scale from 1 to 10. The

higher the rating, the more aspects of industry 4.0 are implemented. The information

required for the evaluation is collected in structured interviews.

37 Cf. Strategy Transformation 2017, call date: 14.06.2018; Esser 2017, p. 2-5.

38 Cf. Seiter et al. 2016, p. 11f; Rusch et al. 2016, p. 70ff. The working group "Industry 4.0 - Business Issues in Focus" (AK4.0) comprises institutes of the University of Ulm, 20 industrial partners, IHK Ulm and the International Controller Association (ICV): http://www.ipri-institute.com/ak40/.

39 Cf. Erol et al. 2017, p. 254-263.

40 Cf. Huber 2016, p. 271-283.

41 Cf. Jodelbauer/Schagerl 2016.

http://www.ipri-institute.com/ak40/




Merz

(2016)42

The process model for developing an industry 4.0 deployment strategy is divided into

three main steps: I4.0 actual analysis, I4.0 target setting and I4.0 measure implemen-

tation. The first step is to determine how much experience the company already has in

dealing with I4.0 technologies and how the corporate strategy is geared towards I4.0

topics. Phase 2 defines and formulates the objectives with regard to technology use

and strategy. Based on the objectives and measures, projects for implementation are

planned and implemented in the third phase.

Impuls-

Stiftung des

VDMA

(2015)43

The readiness model is used for the self-assessment of companies. Six dimensions

(Strategy and Organization, Smart Factory, Smart Operations, Smart Products, Data-

driven Services and Employees) are covered within the model. These dimensions are

further broken down into individual subject areas and are evaluated using indicators on

a six-level scale (levels 0-5) - the higher the rating, the more advanced the company

is.

VDMA

Forum

Industrie

4.0

(2015)44

The Guide to introducing Industry 4.0 describes a chronologically structured process

model consisting of the following five process steps: preparation, analysis, creativity,

evaluation and introduction. A central element are the toolboxes (maturity models) for

products and production. They serve to determine the existing competencies in the

company and as a basis for generating new ideas and business models.

Bossart

(2014)45

The Association of Bavarian Business gives recommendations for the introduction of

Industry 4.0:

1. obtaining information from ministries and industry associations

2. contacting companies that are already living I 4.0

3. internal identification of potentials & definition of an "I 4.0 vision".

4. preparation of an action plan (if necessary with consultant support)

Capgemini

(2014)46

The Industry 4.0 Framework is a guideline for the implementation of I4.0 and describes

a cycle that consists of the following steps: raising maturity, identifying opportunities

and threats, defining I40 vision and agenda, deriving focal points, defining a roadmap

and implementing and securing change. All steps of the circle are passed through be-

fore starting again with the maturity level determination.

Fraunhofer

IPA

(2014)47

The process model for industry 4.0 migration is a seven-step process. The procedure

for the introduction of Industry 4.0 is divided into three main phases - recording and

analysis of the processes to be considered, determination of Industry 4.0 readiness

and implementation planning. First, the business processes essential for the company

42 Cf. Merz 2016, p. 95ff.

43 Cf. Lichtblau et al. 2015, p. 21ff. The self-classification model can be accessed under the following link: htts://www.industrie40-readiness.de/.

44 Cf. VDMA Forum Industrie 4.0 2015, p. 8ff.

45 Cf. Bossart 2014, p. 4.

46 Cf. Bechtold et al. 2014, p. 32f.

47 Cf. Bildstein/Seidelmann 2014, p. 588ff.




are collected, documented and checked for improvement potential with regard to In-

dustry 4.0. Subsequently, the processes collected in phase I4.0 readiness are com-

pared with I4.0 standard application cases to determine the current status and the given

prerequisites. The third main phase is dedicated to the implementation, which is carried

out iteratively in loops in order to identify and solve possible problems in pilot projects

at an early stage. Finally, a cost-benefit evaluation for a pilot project is carried out and

compared with the expected results of the planning phase. An implementation roadmap

for the entire company is drawn up, including lessons learned.

Price-Wa-

ter-house-

Coopers

(2014)48

The Maturity Model Industry 4.0 serves the systematic inclusion of skills and measures

for an I4.0 strategy. The areas of processes/value-added chains, product/service port-

folio and customer/market access are evaluated on the basis of the following four ma-

turity levels: Digital Novice, Vertical Integrator, Horizontal Integrator and Digital Cham-

pion. Based on the self-assessment, the desired I.40 target state is then defined. De-

signing, quickly adapting and waiting are mentioned as possible implementation strat-

egies. Depending on the chosen strategy, measures, deadlines and resources are de-

rived, pilot projects for quickly achievable successes are carried out and change man-

agement ensures sustainable change in the company.

Table 3: Short overview of selected industry 4.0 maturity level and process models

The approaches presented in table 3 differ in terms of scope (maturity level or process model),

process (phases) and also focus (technology, strategy and processes). It should therefore be

noted that there is no universal concept for the implementation of industry 4.0 in enterprises.

In any case, an individual transformation process and approach is required in order to identify,

evaluate and exploit the specific I4.0 potentials.49

48 Cf. Geissbauer et al. 2014, p. 41f.

49 Cf. Seiter et al. 2016, p. 11.

Roadmap Industrie 4.0 - How do companies approach Industry 4.0 in a structured way?


5. How do companies approach Industry 4.0

in a structured way?

# Companies on the road to digital transformation

The previous chapter has shown that there are different approaches to the introduction of

industry 4.0 technologies in companies. In the course of an applied research project, the Insti-

tute of Industrial Management at FH JOANNEUM, together with an internationally renowned

industrial company, developed a roadmap for the introduction of Industry 4.0 in companies

(see Figure 4).

Figure 4: Roadmap Industry 4.0 – Institute Industrial Management

The three pillars analysis, objectives and implementation of the roadmap describe the phases

of the process model and are further divided into two sub-steps (steps 1 to 6). It is recom-

mended to run through these steps sequentially, to ensure a systematic approach for identi-

fying the current industry 4.0 maturity of the company and the existing competencies as well

as for the definition and evaluation of target states.

Five maturity models form the core of the roadmap. These cover five fields of action: procure-

ment, production, logistics, sales and human resources. The fields of action are derived from



the approach of the value stream analysis,50 which takes into account all essential business

areas. Within several fields of activity, the focus lies on internal vertical IT integration and

cross-company horizontal IT integration. The complementary maturity model Human Re-

sources is cross-functional and covers the necessary competencies and organizational require-

ments in order to successfully implement Industry 4.0.51

Within the roadmap, the maturity models serve both to determine the location and the ob-

jectives for each field of action. The roadmap represents a bottom-up approach.52 This means

that the departments of the company have the possibility to define a target status inde-

pendently. However, the framework and the requirements for this are provided by the corpo-

rate strategy. The five maturity models offer the possibility to individually and flexibly design

the scope of industry 4.0 in the company. This means that individual selected areas or all five

fields of action can be processed simultaneously in the transformation process.

Following the definition of the target states, necessary measures for implementation are de-

rived. These must then be evaluated and prioritised in order to set priorities and filter the

measures. In the last phase, the evaluated measures are selected and included in the internal

key figure system. Finally, an individual implementation plan for the company is defined, i.e.

the chronological sequence of the planned measures is determined in the form of concrete

projects.

Step 1: Performing Start-Workshops

The first step is to create an awareness of industry 4.0 in the company and among those di-

rectly involved.

50 See also Erlach 2010.

51 Cf. Spath et al. 2013, p. 2.

52 Industry 4.0 should be initiated and driven by top management but should be implemented using a bottom-up approach.



Figure 5: Step 1: Performing starting-workshops

The initial workshop aims to give the company an impulse. Therefore, essential contents, con-

cepts and technologies of industry 4.0 are presented in this framework. In order to underline

the relevance of the topic, a steadily growing collection of industry 4.0 use cases will be pre-

sented in this context, which on the one hand should exemplify the practical implementation

of I4.0 technologies. The topic should hence become more tangible and also the benefits be

made more apparent for companies that can be achieved by the application of (new) technol-

ogies (e.g. intelligent, smart products). In addition, the communication of the overall project

to all participants and the definition of the scope of the planned project (see step 2) - are

essential components of the initial workshop. In order to support the aforementioned fields

of activity, a "Digital Readiness Check" will be carried out as part of the Start-workshop. This

is a quick test that provides a first impression of the current maturity of the company, by ask-

ing a few, concrete questions. The result helps to prioritize the fields of action. Involving em-

ployees at an early stage in shaping the change, should safeguard the transformation process

towards Industry 4.0 long term.

Following the impulse, the risks and opportunities (external view) of I4.0 for the company, as

well as their strengths and weaknesses (internal view) are worked out in the course of an

extended industry 4.0 strategy workshop.53 For this purpose, the companies have various in-

struments at their disposal, which can be applied depending on the scope. The following tools

are available for systematically recording the external view:

Three C-model: This approach determines (in comparison with the existing corporate

strategy) indications as to whether and how the company with its products and pro-

cesses must change with regard to its clients and its competitors in order to achieve a

53 Cf. Rusch et al. 2016, p. 71.



sustainable competitive advantage.54

Industry structure analysis: The industry structure analysis serves to determine the at-

tractiveness of an industry. The following five components of the industry structure ("5

Forces") are analysed and evaluated: bargaining power of suppliers, bargaining power

of customers, threat of new competitors, threat of substitute products and intensity of

competition within the industry.55

PESTEL: The PESTEL analysis records the business environment and the factors influenc-

ing a company based on six dimensions (Political/Economical/Social/Technological/Eco-

logical/Legal).56

For the internal point of view, it is primarily relevant to point out and question the current

business model. The following two models are suitable for this purpose:

St. Gallen Business Model Navigator: The St. Gallen Business Model Navigator places the

customer (relevant customer segments = who?) at the centre of the business model and

the benefit promise (the service offered = what?), as well as the value chain (processes,

resources, capabilities = how?) and the revenue mechanics (cost structure and revenue

mechanics = value?) are oriented towards the customer.57

Business Model Canvas: This model is used to develop and document business models

and describes their basic components (Value Proposition, Key Activities, Customer Seg-

ments, Key Partners, Key Resources, Cost Structure, Channels, Customer Relationships,

Revenue Streams). It can be used to analyse and redesign the current business model in

the context of industry 4.0 (influences of new technologies on the individual basic com-

ponents).58

By means of a subsequent SWOT analysis, the results of the external corporate environment

analysis are prepared in the form of an opportunity/risk catalogue and compared with the

strengths and weaknesses profile of the internal company analysis. The aim is to maximise the

benefits from strengths and opportunities and minimise the loss from weaknesses and

threats.

54 Cf. Merz 2016, p. 83-110. Kenichi Ohmae, a Japanese strategist has presented these findings in his 3C model. This as-sumes that three central components (company - client - customer) must always be considered when developing a busi-ness strategy.

55 Also called the "5 forces" according to Porter 2008, p. 74-79. Cf. Sztuka 2016, call date: 27.09.2016.

56 Cf. Rusch et al. 2016, p. 72; Sztuka 2016, call date: 27.09.2016.

57 Cf. Gassmann et al. 2013. Call date: 27.09.2016.

58 Cf. Osterwalder/Pigneur 2009. Basic components of the model are: Customer segments, customer relationships, chan-nels, value propositions, revenue streams, resources, core competencies, value creation partners and the company's cost structure.



Step 2: Analyze Industry 4.0 Maturity

The second step is to survey the status and existing competencies of the company with regards

to industry 4.0. In cooperation with an international industrial group, five maturity models

have been developed for the following fields of activity (see Fehler! Verweisquelle konnte n

icht gefunden werden.):

Figure 6: Step 2: Analyse Industry 4.0 maturity

Purchasing: Includes strategic considerations in purchasing as well as operational pro-

cesses from demand generation to coverage and the degree of digitization of these pro-

cesses.

Production: Includes strategic and operational topics in the areas of production planning

and control as well as product planning and realization, and their degree of digitization.

Logistics: Includes strategic topics of logistics, as well as the operative processes from

the delivery of goods to the loading & delivery and the digitalisation of logistics pro-

cesses.

Sales: Includes strategic and operational topics in sales, as well as the degree of digitiza-

tion of operational processes from marketing and presales to after sales.

People: Includes the characteristics of factors such as acceptance and application of new

technologies, as well as existing digital competencies and process orientation.

The maturity models are structured in such a way that there are specific questions for each of

the individual fields of activity, which question both strategic considerations and operational

processes. For each question, five maturity levels are formulated, which build on each other

and increase in scope, structure and IT use as the maturity level increases.



This means that level 1 describes a state with little or no IT usage and very ad-hoc controlled

processes. From level 3, Enterprise Resource Planning (ERP) systems are used as a standard.

In addition, the processes run in a structured and planned manner and there is no longer any

need to react ad-hoc. Stage 4 sees the existing possibilities of current, specific IT systems being

fully applied; these include Supplier Relationship Management (SRM) for purchasing, Manu-

facturing Execution System (MES) for production, Customer Relationship Management (CRM)

for sales and distribution and Warehouse Management System (WMS) for logistics. Stage 5

describes the maximum form - a partially still visionary approach due to potential technologies

which are not yet widely available or even in use.

The maturity models serve to make the topics and technologies surrounding Industry 4.0 com-

prehensible and to highlight potentials for improvement. Due to the fact that industry 4.0 is a

long-term development process and future technological innovations cannot yet be predicted,

the maturity models describe a current state of this development. Therefore, it will be neces-

sary to further develop level 5 in the future and to extend the existing maturity levels by one

level.59 It is relevant to determine the maturity status sufficiently precisely in order to support

companies where they currently are and to guide them along a track of development towards

industry 4.0. For example, a study carried out at the Institute of Industrial Management on

the subject of digital production confirmed that around 60% of Austria's small and medium-

sized enterprises surveyed still have great untapped potential in terms of digital produc-

tion/vertical IT integration.60

The degree of maturity of each field of action is determined in a workshop. For this purpose,

the extent to which the described approaches are fulfilled in the maturity levels is evaluated.

As it happens, in companies where certain requirements are only partially fulfilled per ma-

turity level, or maturity levels are not fully implemented yet, the evaluation logic of Hammer61

is applied. Hence, the following maturity level is valid:

completely fulfilled (green), if more than 80% of the approaches are realized,

partially met (yellow) if requirements between 20% and 80% were met,

not met (red) if less than 20% of the criteria are met.

The highest completely fulfilled maturity level thus results in the degree of maturity of the ques-

tion in the field of activity (Fehler! Verweisquelle konnte nicht gefunden werden.). This logic

applies to all target dimensions for each activity field. The fully recorded actual profile for each

field of action is displayed in a network diagram, whereby the target dimensions of the maturity

59 Cf. VDMA Forum Industrie 4.0 2015, p.11.

60 Cf. Peßl et al. 2013.

61 Cf. Hammer 2007, p. 116.



models represent the axes of the diagram and the defined degrees of maturity span the net-

work.62

Figure 7: Exemplary maturity level determination in the field of action Production

In addition to determining the degree of maturity for each field of action, we recommend the

following:

(1) planned or already started internal research and development projects be examined63,

(2) relevant business processes be identified, updated and documented, and analysed re-

garding I 4.0 potential, in order to obtain a detailed picture of operational improvement

potential at process level.64

62 Cf. VDMA Forum Industrie 4.0, p. 19.

63 Cf. VDMA Forum Industrie 4.0, p. 19.

64 Cf. Merz 2016, p. 106; Bildstein/Seidelmann 2014, p. 589.



Step 3: Define the target status

In the next step, the target state is defined for each activity field. It makes sense for this task

to be performed independently by selected expert groups within the company. The industry

4.0 corporate strategy chosen in this paper provides the underlying framework. This means

that the expert groups discuss which future target states must be achieved in order to make

a contribution towards fulfilling the planned industry 4.0 strategy within their specialist areas

(see Fehler! Verweisquelle konnte nicht gefunden werden.).

Figure 8: Step 3: Defining the target state

The maturity models of the respective fields of activity also help determine the target states.

For each target dimension, a maturity level must be defined as the target value. It is important

to note that maturity level 5 - maximum level - does not necessarily have to be regarded as

the target level for a company. Due to company-specific focus and structures, lower maturity

levels can also meet the requirements of the field of activity (see Fehler! Verweisquelle k

onnte nicht gefunden werden.).

Figure 9: Exemplary target states in the field of action Production



A decision on the desired degree of maturity must be made for all target dimensions of the

selected fields of activity, to determine a complete target profile. For visualization and analysis

purposes, the target profile is added to the actual profile plotted in the network diagram to

represent gaps between target and actual state (see Fehler! Verweisquelle konnte nicht ge-

funden werden.). The gap analysis can be used to define key areas of action for the criteria

with the largest gaps.

Figure 10: Exemplary comparison of current and target profile in the field of action Production

The scenario technique65 or the St. Gallen Business Model Generator66 can be used as sup-

porting methods in this step of the process to systematically concretize ideas and derive the

necessary preconditions (target maturity levels) in the company.

65 Cf. Merz 2016, p. 102f. The scenario technique is used to represent the possible future. This serves the selection of future strategies and the sensitization for possible future events under consideration of soft factors. Cf. Sztuka 2016, call date: 03.10.2016.

66 Cf. Gassmann et al. 2013. Call date: 27.09.2016.



Step 4: Generate and evaluate measures

In the fourth step, it is necessary to derive, document and evaluate concrete measures for

each field of action on the basis of the defined target profiles in order to close the gap between

actual and target state (see Fehler! Verweisquelle konnte nicht gefunden werden.). Possible m

easures can partly be derived directly from the formulations of the maturity levels or have to

be determined anew. Creativity techniques such as brainstorming and writing, morphological

analyses or method 6-3-5 are suitable for this.67

The measures must be documented uniformly and comprehensively in order to enable subse-

quent assessments. A form with defined fields (e.g. description of the measure, author, esti-

mated effort, benefits and costs, customer benefits, requirements and competencies, IT sys-

tem, competitive advantage) is available for documentation purposes. It is recommended that

the expert groups in your specialist areas independently derive these measures, as they have

the necessary specialist know-how.

Figure 11: Step 4: Generate and evaluate measures

Subsequently, the identified measures will be evaluated to enable prioritisation with regard

to implementation. Portfolio representations with defined axes are suitable for this purpose.

In the specific case, the criteria of expected benefit and effort for implementation are selected

as dimensions. The diameter of the measures reflects the estimated costs. The measures are

therefore evaluated in terms of effort (0...low - 6...high) and benefit (0...low - 6...high) and

67 Cf. Higgins/Wiese 1996.



transferred to the diagram with the estimated costs. This form of presentation makes it pos-

sible to identify the first "quick wins" - measures that achieve a high benefit with little effort

(see Fehler! Verweisquelle konnte nicht gefunden werden.).68

Figure 12: Exemplary evaluation of the measures

In addition, the (1) methods of investment calculation for the economic evaluation of the

planned measures, as69 well as (2) utility value analyses in the case of not directly measurable

monetary variables, can be used.

68 Cf. Chimni 2008, p. 23f; Bechtold et al. 2014, p. 32; Rusch et al. 2016, p. 73; Seiter et al. 2016, p. 12.

69 Cf. Rusch et al. 2016, p. 73; Seiter et al. 2016, p. 12.



Step 5: Prepare decisions

In the fifth step, the previously defined goals (target profile) and measures are selected with

regards to relevance and contribution to the corporate strategy. It is recommended that de-

cisions in the selection process be taken by a committee. This can, for example, consist of

department heads, managing directors, board members and works councils.

Figure 13: Step 5: Prepare decisions

Subsequently, it is proposed to include the selected objectives and measures in a KPI system,

supplemented by concrete targets for monitoring the implementation and target achieve-

ment. In this step, it is possible to use a Balanced Score Card (BSC), as this tool offers the

possibility of transferring the corporate vision and strategy into a bundle of KPIs (Key Perfor-

mance Indicators). The company's vision and strategy serve as the basis for deriving strategic

goals, indicators and actions (see steps 3 and 4), which are then assigned to one of the follow-

ing four perspectives. 70

the financial perspective

the perspective of the business processes (fields of action: purchasing, production, lo-

gistics and sales)

the perspective learning and development (field of action human resource manage-

ment)

the customer perspective

70 Cf. Kaplan/Norton 1997, p. 10 and 23; Horváth & Partner 2001, p. 10f.



Furthermore, a one-sided pursuit of goals is to be avoided by thinking in perspectives as well

as by the interaction of these.

Step 6: Initiate projects

The last step of our procedure model includes a summary of the previously selected measures

for projects, initiating pilot projects, as well as the time planning for all prioritised projects

(see Fehler! Verweisquelle konnte nicht gefunden werden.).

Figure 14: : Step 6: Initiate projects

For this purpose, it is necessary to set up appropriate projects and to perform multi-project

management. This includes:

Appointment of responsible persons and teams (project managers and project team

members are composed of different departments)

Definition of project goals and scope ("SMART" goals)71

Derivation of project phases/structures and work packages (project structure plan)

Definition of the temporal arrangement of projects and phases (Gantt diagrams)

Setting milestones (milestone list)

Determining necessary resources (resource plan)

List of planned costs (project budget)

71 SMART: Specific/Measurable/Accepted/Realistic/Timed.



A project organisation can achieve advantages in implementation, such as cross-departmental

processing of work packages, better time and process planning and making projects easy to

assess in terms of risk, implementation, target achievement and cost-benefit ratio.72

In addition, it is advisable to start with pilot projects and to incorporate the experience gained

from the various sub-projects into the next planning and implementation intervals within the

framework of the overall migration. This enables early detection and resolution of rollout

problems in a business unit before systems and processes are rolled out across the whole

enterprise. It is also recommended to carry out a cost-benefit analysis for completed pilot

projects or sub-projects and to compare it with the planned and expected results. This plan-

ning experience is important for future operational projects.73

72 Cf. Merz 2016, p. 105.

73 Cf. Bildstein/Seidelmann 2014, p. 592.

Roadmap Industrie 4.0 - Conclusions and recommendations


6. Conclusions and recommendations

Industry 4.0, digitization and digitalisation are focal points for the future of many companies,

business and politics. For this reason, it is advisable for companies to determine their current

position in a specific strategy process for Industry 4.0 and to define their own goals, particu-

larly with a view to changing customer demand. The target state and the way to achieve it

must be determined individually for each company. It is a matter of determining the planned

target status for the respective fields of activity, depending on the company's own starting

position, the customer and competitive situation as well as the willingness of the company to

invest.74

The pursuit of individual industry 4.0 projects within a company does not automatically lead

to a successful overall industry 4.0 strategy.75 Many companies fail in the concrete implemen-

tation and operationalisation of defined industry 4.0 projects. The reason for this is often the

difficulty in determining the right mix of measurable and manageable projects for the com-

pany from the usually very broadly formulated topics.76

With the development of a roadmap for the introduction of Industry 4.0, the Institute of In-

dustrial Management at FH JOANNEUM Kapfenberg has created a framework that allows

companies to examine five fields of activity (purchasing, production, logistics, sales and human

resources) with regard to their industry 4.0 maturity and to derive desired target states. In the

fields of activity themselves, the focus is on internal vertical IT integration and cross-company

horizontal IT integration. The complementary maturity model Human Resources is cross-func-

tional and covers the necessary competencies and organizational requirements in the com-

pany. Following the definition of the target states, necessary measures for implementation

are derived. These are defined measurable by using KPIs and integrating them into an existing

KPI system. Only then real measurable targets can be guaranteed and realized in form of con-

crete projects. The procedural model discussed in this white paper is both the basis for self-

assessment and also a guide to industry 4.0.

# What are our key recommendations?

Companies follow the developments in the fields of activity described above to varying de-

grees. For this reason, every company needs its "own" Roadmap Industry 4.0, depending on

its possibilities (resources) and needs (market requirements). The77 following basic standard

74 Geissbauer et al. 2014, p. 41.

75 Cf. Obermaier 2016, p. 50.

76 Cf. Merz 2016, p. 104.

77 Cf. Tschandl/Mallaschitz 2016, p. 85-105.

Roadmap Industrie 4.0 - Conclusions and recommendations


strategies are recommended for companies that have not yet (definitively) defined their in-

dustry 4.0 goals:78

Standard strategy 1: Implementation of lean processes (lean management as a neces-

sary prerequisite for digitization and generally for industry 4.0)

Standard strategy 2: Investment in digitization in all business areas (IT as a prerequisite

for industry 4.0 and especially for new business models)

Standard strategy 3: Promotion of the necessary know-how of employees to exploit the

potential of lean management and digitization (the motivated and competent employee

as enabler of industry 4.0)

Standard strategy 4: Develop new, digitalized business models.

The fields of activity mentioned, and the defined standard strategies automatically result in a

greater digital maturity of the company, which is the prerequisite for (new) digitized business

models. Industry 4.0 must be part of the corporate strategy and must therefore be responsible

at the highest level of management as well as be anchored in personnel accordingly. It is cru-

cial to communicate any planned I4.0-activities to all employees involved and to the works

council, to ensure greater acceptance of the changes lying ahead. Customers and suppliers

who are affected by the implementation of an Industry 4.0 project must also be informed of

the expected changes at an early stage and integrated into the change process. As a rule, it is

advisable to jointly develop solutions for individual aspects of digitization projects.

78 Cf. Tschandl/Mallaschitz 2016, p. 90-104.

Roadmap Industrie 4.0 - Bibliography


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Roadmap Industrie 4.0 - Smart Production Lab Kapfenberg


8. Smart Production Lab Kapfenberg

Digitalisation is inevitable - it's all about whether we can use it to our advantage...

Digitalisation is an inevitable consequence of decades of technological development. Yet for

all the technical hype it brings, it also harbours dangers such as the threat of job losses. Even

greater than the dangers, however, are the opportunities for the many Austrian industrial

companies that are already world market leaders in their niches or at least at the forefront of

their industry. Digitalisation represents an opportunity for the export-oriented industry and

its (commercial) suppliers to continue to be able to compete globally from a high-cost region

in the future. Industry 4.0, or Smart Production, firstly leads to lower process costs. Secondly

it fosters individualized products with comparable efficiency as in (large-scale) production,

and thirdly, to new, digitalized business models and thus new revenues or higher margins.

These competitive advantages of the fourth industrial (r)evolution can only be realized

through digital transformation. To achieve this, companies must streamline and digitize their

internal and cross-company processes. Other terms for this transition are vertical and hori-

zontal integration. To accelerate these transformation processes, however, strong efforts are

needed in applied research and development in this field.

An institute at the cutting edge of industry 4.0 - in the middle of Styria...

Austria is one of the most important industrial regions in Europe. The above-average share of

industry in the alpine nation’s gross domestic product clearly confirms this importance. In Up-

per Styria - the traditional industrial heartland - Kapfenberg, home to campus site of FH JO-

ANNEUM with a strong connection to industry and industrially relevant degree programmes.

The university has occupied a leading position in teaching and applied research for more than

20 years with its four industry-related study courses.

The Institute of Industrial Management has built up comprehensive expertise in industrial pro-

cesses and vertical and horizontal integration and has transferred this knowledge into over

400 industrial research projects and hundreds of publications to date. As a consequence, the

Institute of Industrial Management has been working intensively for several years on building

competence and input for industrial digitization.

The Smart Production Lab of FH JOANNEUM Kapfenberg

Now Austria's largest applied industry 4.0 teaching and research factory with integrated Smart

FabLab is expanding its infrastructure. From 2018, the Institute Industrial Management at

Campus Kapfenberg will operate this new and publicly accessible applied industry 4.0 research

environment - the Smart Production Lab.

The vision is to create a modern, open space for creativity and innovation, with a focus on

digital production by analysing and testing new technologies and standards. Customer-specific

Roadmap Industrie 4.0 - Smart Production Lab Kapfenberg


prototypes will be produced and digital transformation on real business processes will be re-

searched using testing beds – from the CAD file to the delivery of the products. These features

all combine with new services to hybrid service bundles, supported by the Internet of Things,

to form the backbone of our Industry 4.0 strategy. The motto is not only to learn, but also to

make and thereby break down barriers to digitalisation. The goal is not only to learn and teach

in this new environment but to also support digital transformation processes in both domestic

and international companies. Take the opportunity to be visible as a partner or supporter of

the Smart Production Lab for students and companies as industry 4.0 drivers.

Benefits of the Smart Production Lab Kapfenberg

1. … augments qualifications of industrial engineers for future requirements in the con-

text of the fourth industrial (r)evolution – even better educated graduates for domes-

tic and global industries.

2. … to secure competitive advantages for the industrial region of Austria in the field of

digitization – to build up competence for companies.

3. by triggering application- and implementation-oriented research processes for digital

transformation in companies - projects with and without subsidies.

4. an innovation environment for potential start-ups - the Smart FabLab.

5. increasing public awareness of linking man and machine in a digital network.

Roadmap Industrie 4.0 - Excerpt of Publicationss 2018-19


9. Excerpt of Publicationss 2018-19

1. Bischof, Christian/Wilfinger, Daniela: Big Data-Driven Risk Management, in: Journal

Famena, ISSN: 1333-1124, Zagreb, 2019.

2. Brunner, Uwe/Dirnberger, Johannes: Smart Transport Optimization - industrielle

Einsatzmöglichkeiten, in: Logistikwerkstatt Graz 2018, Energiebedarf und Effizienz in der

Intralogistik, ISBN 978-3-85125-595-9 | Verlag der Technischen Universität Graz, Graz,

2018, p. 17-25.

3. Brunnhofer, Magdalena/Peßl, Ernst: Analysis of environmental potential by

implementing Industry 4.0 with a special focus on energy, resources and recycling, in:

24th International Sustainable Development Research Society Conference, ISBN 978-88-

943228-1-1, Messina, 2018.

4. Fischer, Clemens/Brunnhofer, Magdalena: Analysis model for further development of

services, in: MOTSP 2018: Management of Technology Step to Sustainable Production,

Proceedings of 10th International Scientific Conference, ISSN 1848-9591,

Primosten/Kroatien, 2018.

5. Richter, Herbert Michael/Brunnhofer, Magdalena/Fischer, Clemens/Tschandl, Martin:

Management Roadmap zur Strategiefindung von neuen Services, in: Bruhn,

Manfred/Hardwich, Karsten (Hrsg.): Service Business Development, Band 1, Springer

Gabler, ISBN 978-3-658-22425-7, Wiesbaden 2018, p. 141-165.

6. Sorko, Sabrina Romina/Brunnhofer, Magdalena: Potentials of Augmented Reality in

Training, in: Procedia Manufacturing 31 (2019), 9th Conference on Learning Factories

2019, https://doi.org/10.1016/j.promfg.2019.03.014, 2019, p. 85-90.

7. Sorko, Sabrina/Brunnhofer, Magdalena: Potentials of Augmented Reality for human

resource development, in: 17th Annual STS Conference, Graz, 2018.

8. Sorko, Sabrina/Rabel, Birgit: Kompetenzen im Zeitalter der Digitalisierung, in:

Sorko/Irsa(Hrsg.): Interaktive Lehre des Ingenieursstudiums, ISBN: 978-3-662-56223-9,

https://doi.org/10.1007/978-3-662-56224-6_1, Berlin, 2019, p. 7-24.

9. Tschandl, Martin/Kogleck, Rico: Controller als Innovatoren - Von der Digitalisierungs-

Roadmap zum neuen Geschäftsmodell, in: Gleich, Ronald/Tschandl, Martin (Hrsg.),

Digitalsierung & Controlling, Haufe 2018, p. 29-48.

10. Tschandl, Martin/Kogleck, Rico: Generic Strategies and options for action in the

digitalisation of business models of small and medium sized enterprises, Book of

Abstracts, Euroweek 2018, Kapfenberg.

11. Tschandl, Martin/Richter, Herbert Michael/Bischof, Christian: Assessment, Development

and Deployment of Innovative Services, in: International Journal of Science, Technology

and Society, doi: 10.11648/j.ijsts.20180601.14, 2018, p. 17-22.

Roadmap Industrie 4.0 - Excerpt of Publicationss 2018-19


12. Tschandl, Martin/Sorko, Sabrina Romina: Controlling als Schlüsselfaktor in der digitalen

Transformation, in: INSight, 01/19, Wien, 2018, p. 22-23.

13. Wilfinger, Daniela/Glatz, Carmen/Brandstätter, Claudia: The Impact of Industry 4.0 on

Major Stakeholders in the Value Chain, in: MakeLearn & TIIM 2019, Piran, 2019.

Roadmap Industry 4 - FH Joanneumbizepaper.fh-joanneum.at/eBooks/Roadmap_Industry... · 2019. 11....

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